Matthew J. Fazio
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Matthew James Fazio was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2001. Matthew had worked at 5 firms and has passed the Series 63, Series 50, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2020 - November 30, 2021
JONES LANG LASALLE SECURITIES, LLC
November 28, 2007 - August 6, 2018
TRUIST SECURITIES, INC.
December 14, 2005 - August 24, 2007
WELLS FARGO SECURITIES, LLC
March 7, 2005 - August 10, 2005
NATWEST MARKETS SECURITIES INC.
September 11, 2001 - May 9, 2003
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
JONES LANG LASALLE SECURITIES, LLC
CRD#: 120738 / SEC#: , 8-65341
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES LANG LASALLE AMERICAS, INC. | DIRECT OWNER | |
| CASHDAN, DANIEL MICHAEL | PRESIDENT AND GENERAL SECURITIES PRINCIPAL | 1910672 |
| DORFMAN, ESTEE CARLA | FINANCIAL OPERATIONS PRINCIPAL | 2696529 |
| DORFMAN, ESTEE CARLA | PRINCIPAL FINANCIAL OFFICER | 2696529 |
| DOWNING, JAMES ROTH | CHIEF COMPLIANCE OFFICER | 5514806 |
| DOWNING, JAMES ROTH | PRINCIPAL OPERATIONS OFFICER | 5514806 |
| JOSEPH, MICHAEL SCOTT | MANAGING PRINCIPAL / CHIEF OPERATIONS OFFICER | 4231268 |
Red Flags
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